AI Management System (AIMS) Explained

Key Takeaways

Quick Answer: An AIMS is your organization's management framework for responsible AI. It includes policies, processes, controls, and documentation that together ensure AI systems are developed, deployed, and used in a way that manages risks and delivers intended benefits.

What is a Management System?

A management system is a set of interrelated elements used to establish policy and objectives, and achieve those objectives. For AI, this means:

AIMS vs ISMS

If you're familiar with ISO 27001's Information Security Management System (ISMS), the AIMS follows a similar structure:

AIMS Components

Governance Structure

1AIMS Governance Structure
2────────────────────────────────────────────────────
3
4                     ┌─────────────────┐
5                     │   Top Management│
6                     │   (Clause 5.1)  │
7                     └────────┬────────┘
8                              │
9                              ▼
10                     ┌─────────────────┐
11                     │   AIMS Owner    │
12                     │  (Clause 5.3)   │
13                     └────────┬────────┘
14                              │
15            ┌─────────────────┼─────────────────┐
16            ▼                 ▼                 ▼
17     ┌──────────┐      ┌──────────┐      ┌──────────┐
18     │   Risk   │      │ Control  │      │ Process  │
19     │  Owners  │      │  Owners  │      │  Owners  │
20     └──────────┘      └──────────┘      └──────────┘

Core Clauses (4-10)

ISO 42001 follows the ISO High-Level Structure:

Clause-by-Clause Overview

Clause 4: Context of the Organization

Understanding your organization's context is the foundation:

Scope definition example:

"The AI Management System covers the development and provision of AI-powered analytics services, including data ingestion, model training, deployment, and customer support. The scope includes the Engineering, Data Science, and Customer Success teams operating from the headquarters location and cloud infrastructure."

Clause 5: Leadership

Management commitment and governance:

AI Policy should address:

• Commitment to responsible AI
• Compliance with applicable requirements
• Framework for setting AI objectives
• Commitment to continual improvement
• Communication to relevant parties

Clause 6: Planning

Planning addresses risks and objectives:

AI risk assessment considerations:

• Risks related to AI system development
• Risks related to AI system provision/use
• Risks to individuals affected by AI decisions
• Organizational risks (reputation, liability, compliance)
• Opportunities from AI (business value, efficiency)

Clause 7: Support

Resources and enablers:

Competence areas for AI teams:

• AI/ML technical skills
• Responsible AI practices
• Risk management
• Data governance
• Relevant domain knowledge

Clause 8: Operation

Core operational requirements for AI:

AI System Impact Assessment (Clause 8.4):

Clause 9: Performance Evaluation

Measuring AIMS effectiveness:

What to monitor:

• AI system performance metrics
• Risk treatment effectiveness
• Objective achievement
• Incident trends
• Stakeholder feedback
• Control effectiveness

Clause 10: Improvement

Continuous improvement mechanisms:

AIMS Documentation

Required Documents

ISO 42001 requires specific documented information:

Documentation Hierarchy

1AIMS Documentation Structure
2────────────────────────────────────────────────────
3
4Level 1: AI Policy
5         └── Strategic direction, commitments
6
7Level 2: Procedures
8         ├── AI risk assessment procedure
9         ├── AI system impact assessment procedure
10         ├── AI development procedure
11         └── Incident management procedure
12
13Level 3: Standards and Guidelines
14         ├── Data quality standards
15         ├── Model documentation standards
16         └── Testing standards
17
18Level 4: Records and Evidence
19         ├── Risk assessments
20         ├── Impact assessments
21         ├── Training records
22         └── Audit reports

Statement of Applicability

The Statement of Applicability (SoA) documents which Annex A controls apply:

Building Your AIMS

Phase 1: Establish Foundation (Weeks 1-3)

Phase 2: Develop Framework (Weeks 3-6)

Phase 3: Implement Controls (Weeks 6-12)

Phase 4: Verify and Improve (Weeks 12-16)

AIMS Integration

With ISO 27001

If you have an existing ISMS, integrate your AIMS:

With Other Systems

Common AIMS Challenges

Challenge 1: Defining Scope

Problem: Unclear which AI systems to include

Solution:

• Start with AI systems that are core to your product/service
• Include AI that affects customers or makes decisions about individuals
• Exclude experimental/research AI initially if appropriate

Challenge 2: Risk Assessment for AI

Problem: Traditional risk methods don't capture AI-specific risks

Solution:

• Use ISO 42001 Annex C for risk sources and objectives
• Consider both technical and ethical risks
• Include impacts on individuals, not just organization

Challenge 3: Documentation Burden

Problem: Concern about excessive documentation

Solution:

• Right-size documentation to organization
• Automate evidence collection where possible
• Integrate with existing documentation

Challenge 4: Competence

Problem: Team lacks AIMS experience

Solution:

• Training for key personnel
• External expertise for implementation
• Build competence over time

Need help building your AI Management System? Talk to our team